USA - March 10 2016
Recently, a New York court held that a putative class action Defendant’s depositing of funds sufficient to cover the full amount of a plaintiff’s…
Lawrence I Weinstein
USA - January 8 2016
The recently issued 2016 Regulatory and Examination Priorities Letter discloses FINRA's new initiatives on market integrity and firm culture and…
Brian L Friedman, Harry Frischer
USA - January 4 2016
In 2014, we blogged about a California state appellate court decision invalidating the arbitration clause in DIRECTV's consumer contracts. We found…
Lawrence I Weinstein, Jennifer Yang
USA - September 29 2015
For plaintiffs concerned that the Fourth Circuit Court of Appeals' June 19, 2015 decision in Brown v. GNC Corp. signaled the muscling in of a…
Alexander Kaplan, Jennifer Yang
USA - September 19 2015
On Thursday, the SEC announced charges against several senior executives of Penson Financial Services Inc., once the second-largest clearing…
Harry Frischer